Compliance Specialist
- Recruiter
- Ad Idem Consulting
- Location
- London, United Kingdom
- Salary
- £60k - £75k
- Posted
- 25 Mar 2023
- Closes
- 28 Mar 2023
- Ref
- 19155224
- Job Function
- Other
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
Our client is a London-based Asset Manager who are looking for an innovative individual with experience within Compliance.
The role will be broad and varied which will include the below but not limited to:
Contributing to the Compliance team in a dynamic investment management environment;
Supporting the firm with the on-boarding of new clients to establish appropriate compliance infrastructures including due diligence and AML checks, seeking approvals and setting-up monitoring programs;
Working with new Portfolio Managers/Appointed Representatives to develop and implement the necessary policies and procedures and providing compliance training;
Coordinating on-going compliance monitoring including liaising with the Company's appointed representatives to arrange meetings and reviews, participating in compliance reviews and instigating appropriate follow-up actions;
Reviewing of financial promotions;
Skillset desires:
Previous experience of working in a compliance advisory and/or monitoring role (ideally in Asset Management) for a minimum of 4 years;
Proficient in Microsoft Office skills (Excel, Word, Powerpoint, Outlook, etc);
Deep knowledge of the FCA handbook ideally including MiFID 2, AIFMD, SM&CR and GDPR.
Salary for this role is up to £75,000.
The role will be broad and varied which will include the below but not limited to:
Contributing to the Compliance team in a dynamic investment management environment;
Supporting the firm with the on-boarding of new clients to establish appropriate compliance infrastructures including due diligence and AML checks, seeking approvals and setting-up monitoring programs;
Working with new Portfolio Managers/Appointed Representatives to develop and implement the necessary policies and procedures and providing compliance training;
Coordinating on-going compliance monitoring including liaising with the Company's appointed representatives to arrange meetings and reviews, participating in compliance reviews and instigating appropriate follow-up actions;
Reviewing of financial promotions;
Skillset desires:
Previous experience of working in a compliance advisory and/or monitoring role (ideally in Asset Management) for a minimum of 4 years;
Proficient in Microsoft Office skills (Excel, Word, Powerpoint, Outlook, etc);
Deep knowledge of the FCA handbook ideally including MiFID 2, AIFMD, SM&CR and GDPR.
Salary for this role is up to £75,000.